Federal Communications CommissionFCC 05-56
Before the
Federal Communications Commission
Washington, D.C. 20554
In the Matter ofWireless Operations in the 3650-3700 MHz Band
Rules for Wireless Broadband Services in the 3650-3700 MHz Band
Additional Spectrum for Unlicensed Devices
Below 900 MHz and in the 3 GHz Band
Amendment of the Commission’s Rules With
Regard to the 3650-3700 MHz Government
Transfer Band / )
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) / ET Docket No. 04-151
WT Docket No. 05-96
ET Docket No. 02-380
ET Docket No. 98-237
REPORT AND ORDER
AND
MEMORANDUM OPINION AND ORDER
Adopted: March 10, 2005Released: March 16, 2005
By the Commission: Chairman Powell, Commissioners Copps and Adelstein issuing separate statements.
TABLE OF CONTENTS
HeadingParagraph #
I.introduction...... 1
II.background...... 4
III.Report and Order...... 13
A.Allocation Issues...... 19
B.Licensing Provisions...... 23
1.Nationwide Non-Exclusive Licensing...... 31
2.Other Licensing Provisions...... 33
3.Statutory Compliance for Licensing Approach...... 44
C.Technical Requirements...... 46
IV.memorandum opinion and order...... 77
A.Statutory Considerations...... 78
B.Allocation issues...... 80
C.TT&C Issues...... 83
D.Emergency Motion for Stay...... 89
V.CONCLUSION...... 92
VI.PROCEDURAL MATTERS...... 93
A.Final Regulatory Flexibility Analysis...... 93
B.Paperwork Reduction Analysis...... 94
C.Congressional Review Act...... 96
D.Contact Persons...... 97
VII.ordering clauses...... 98
Appendix A: Final Rules
APPENDIX B: Final Regulatory Flexibility Analysis
APPENDIX c: List Of Parties Filing Comments And Replies
APPENDIX D: A Methodology For Locating Fixed Stations Within The FSS Earth Station Protection Zone
APPENDIX e: List Of Grandfathered Fss Earth Stations
APPENDIX f: Protection Zones For Grandfathered FSS And Federal Government Stations
I.introduction
1.By this Report and Order (Order), we adopt rules that provide for nationwide, non-exclusive,licensing of terrestrial operations, utilizing technology with a contention-based protocol, in the 3650-3700 MHz band (3650 MHz) band. We also adopt a streamlined licensing mechanism with minimal regulatory entry requirements that will encourage multiple entrants and stimulate the rapid expansion of wireless broadband services -- especially in rural America -- and will also serve as a safeguard to protect incumbent satellite earth stations from harmful interference. We establish licensing, service and technical rules that allow fixed and base-station-enabled mobile terrestrial operations. Finally, we maintain the existing Fixed Satellite Service (FSS) and Fixed Service (FS) allocations and modify the Mobile Service (MS) allocation to delete the restriction against mobile operations in the 3650 MHz band.[1] We also maintain the international/intercontinental operation requirements for FSS earth stations.
2.We affirm our belief that the 3650 MHz band is well-suited to respond to the needs expressed by the growing number of entrepreneurial wireless internet service providers (WISPs), that currently bring broadband services to consumersparticularly those living in rural areas of the United States. Today, rural consumers often have fewer choices for broadband services than consumers in more populated areas. The licensing scheme that we adopt for this band will provide an opportunity for the introduction of a variety of new wireless broadband services and technologies, such as WiMax.[2] Furthermore, the actions we take herein for the 3650 MHz band will allow further deployment of advanced telecommunications services and technologies to all Americans, especially in the rural heartland, thus promoting the objectives of Section 706 of the Telecommunications Act of 1996.[3]
3.In the Memorandum Opinion and Order (MO&O), we address several petitions for reconsideration and a motion for stay that were filed in response to the First Report and Order (3650 MHz Allocation Order) in ET Docket No. 98-237. We deny the petitions for reconsideration. We also deny the emergency motion for stay.
II.background
4.Historically, the 3650 MHz band was exclusive Federal Government spectrum allocated on a primary basis for radiolocation services and, later, was also allocated to the non-government radiolocation service on a secondary basis.[4] Subsequently, this band has been subject to a number of regulatory and statutory proceedings that we briefly recount here, and which are more fully described in the most recent Notice of Proposed Rulemaking on the 3650 MHz band preceding this order.[5]
5.In 1984, the Commission added a primary allocation in the 3650 MHz band for non-government FSS (space-to-Earth) operations, but adopted footnote US245 to restrict use of this FSS allocation “to international inter-continental systems . . . subject to case-by-case electromagnetic compatibility analysis.”[6] In February 1995, the NTIA identified, pursuant to 1993 budget legislation, the 3650-3700 MHz band for transfer, effective January 1999, to mixed-use status, thus permitting Non-Government operations much more extensive than FSS earth stations.
6.In December 1998, in ET Docket No. 98-237, the Commission released a Notice of Proposed Rulemaking(3650 MHz Allocation Notice) proposing to allocate the 3650 MHz band to the non-government fixed service on a primary basis and tentatively concluding not to allocate the band to land mobile service.[7] In a companion Order (FSS Application Freeze Order), the Commission stated that it would no longer accept applications in the band for new FSS earth stations, major amendments to pending FSS earth stations applications, or applications for major changes in existing FSS earth stations.[8] Subsequently, in May 2000, the Commission modified the freeze by allowing applications for new FSS earth stations and major modifications of existing FSS earth stations in the band if the proposed facilities were located within 10 miles or less of an existing grandfathered FSS site operating in the band.[9]
7.In October 2000, the Commission released a First Report and Order (3650 MHz Allocation Order) that allocated the 3650 MHz band to fixed and mobile (base station only) terrestrial services (FS and MS respectively) on a co-primary basis.[10] The 3650 MHz Allocation Order grandfathered existing FSS earth stations on a primary basis, and established that any additional applications for primary earth stations had to be located within 10 miles of existing grandfathered sites and must be submitted prior to December 1, 2000. Pursuant to this grandfathering provision, additional FSS earth station operations could continue to be established in the future - but only on a secondary basis.[11] In addition, in the 3650 MHz Allocation Order, the Commission deleted the government radiolocation allocation, but grandfathered the three existing government radiolocation sites that were a condition of the transfer.[12] All of the grandfathered primary sites are listed in Appendix E. Finally, the Commission deleted the unused government aeronautical radionavigation service (ground-based) allocation.[13]
8.Concurrently with adoption of the 3650 MHz Allocation Order, the Commission adopted the 3650 MHz Service Rules Notice seeking comment on licensing and service rules for fixed and mobile services.[14] In addition, the Commission sought comment on the feasibility of pairing the 3650 MHz band with the 4940-4990 MHz (4.9 GHz) band for mobile services and whether such a pairing would encourage synergies in the use of both portions of the spectrum.
9.In response to the 3650 MHz Allocation Order, the Commission received four petitions for reconsideration and an emergency motion for stay.[15] These petitions, filed by parties representing FSS interests, challenge the decision to create a primary FS/MS allocation in the band, and to make non-grandfathered FSS earth stations secondary.[16] We address these petitions and the stay motion in the companion MO&O below.
10.In 2002, in the 4.9 GHz Order, the Commission designated the 4.9 GHz band for exclusive public safety use and, thus, it is no longer available for commercial use.[17] Prior to this Order, the Commission had not taken any further action with respect to adopting licensing and service rules for the fixed and mobile service allocations in the 3650 MHz band.
11.In April 2004, the Commission released the Notice of Proposed Rulemaking(Unlicensed Operation NPRM, or NPRM) in the instant proceeding and proposed to allow the operation of unlicensed devices in the 3650 MHz band.[18]In the NPRM, we tentatively concluded that permitting unlicensed operation in the 3650 MHz band would foster the introduction of new and advanced services to the American public, especially in rural areas, and would result in a more efficient use of spectrum. We proposed to allow unlicensed devices to operate in this band with higher powers (up to 24 Watts EIRP) than typically allowed for Part 15 devices, and proposed requiring the use of smart/cognitive safeguards designed to avoid causing interference to licensed satellite services. We also sought comment on whether to restore a uniform primary allocation for all FSS earth stations in the band, and whether to delete the existing co-primary FS and MS allocations in this band - - - both as means to foster the development of new broadband services by unlicensed use in this spectrum.
12.Finally, the NPRM also sought comment on alternative options for providing licensed or a combination of unlicensed and licensed terrestrial services in this band. We asked whether it would be feasible for both FSS and FS licensed operations to share the band while still allowing for the operation of unlicensed devices. For example, one approach described in the NPRM would have split the band to allow separate spectrum for unlicensed devices and terrestrial licensed use in different segments, all in conjunction with FSS operations.
III.Report and Order
13.In the NPRM, we found, among other things, that a growing number of WISPs are providing wireless broadband service in many areas where few alternatives are available. We observed that WISPs have expressed a clear need for additional spectrum for broadband use - - - including backhaul and subscriber connectivity - - - especially in rural areas. In light of the demonstrated need for additional spectrum for wireless broadband delivery, we concluded that the 3650 MHz band (with its grandfathered earth stations located mostly along the coasts[19]) appears to provide a unique opportunity to satisfy this demand. We tentatively concluded that permitting unlicensed devices to operate in the band would be the most beneficial approach, but also sought comment on alternative licensed approaches as well.
14.Over 100 parties reflecting a diverse range of opinion submitted responses to the NPRM. Broadly speaking, we received substantial confirmation that WISPs require additional spectrum for backhaul, especially in rural areas; and that it needs to be available with low upfront costs, and minimal burdens in order to be viable. However, a number of parties, including WISPs, express concern about the risk that intense use of spectrum by a variety of devices under a traditional unlicensed approach could result in mutual interference, thereby reducing the utility of this band. To address this concern, many WISPs suggest, for example, that we limit unlicensed use of the band to outdoor-only use. Commenters who support the development of community networks argue for low power unlicensed use of the band, with various techniques to encourage cooperative use of the spectrum such as the registration of high power fixed stations and the use of a “listen-before-talk” protocol built into equipment.[20]Many advocates of unlicensed access argue that a “first-in-time, first-in-rights” licensing or registration scheme would deny community networks the flexibility they need to deploy low power networks or high power backhaul stations, depending on the community’s needs.[21]On the other hand, various corporate entities and industry trade groups prefer a licensed approach, in large part due to the enhanced quality of service that they argue would result from interference avoidance predictability and certainty under such an approach.[22] Some parties[23] also argue that the band should be made available for the introduction of new services and technologies, such as WiMax.[24] These parties support a range of options, including site-by-site licensing,[25] block licensing in small geographic areas,[26] and assignment by auction.[27] Finally, satellite interests express reservations about the NPRM’s proposal to allow unlicensed operations due to their concern over interference protection issues.[28]
15.The record clearly supports use of the 3650 MHz band for a variety of FS and MS operations. We conclude that it would serve the public interest to maintain primary FS and MS allocations and a secondary FSS allocation in the band and to devise a regulatory scheme that provides flexibility for a variety of new terrestrial uses. Further, the public interest is best served by establishing minimal regulatory barriers to encourage multiple entrants in the 3650 MHz band and to stimulate the rapid expansion of broadband services - - - especially in America's rural heartland. At the same time, we must ensure that incumbent grandfathered satellite earth stations and Federal Government radiolocation stations in this band are protected from harmful interference.
16.To accomplish these objectives, we conclude that new terrestrial operations in the band should be licensed on a nationwide, non-exclusive basis, with all licensees registering their fixed and base stations in a common data base. This streamlined licensing and registration process will provide additional spectrum to WISPs and other potential users suitable for backhaul and other broadband purposes such as community networks - - - at low entry costs and with minimal regulatory delay.While terrestrial licensees in this band will not have interference protection rights of primary, exclusive use licensees, the licensing scheme imposes on all licensees the mutual obligation to cooperate and avoid harmful interference to one another. To ensure efficient and cooperative shared use of the spectrum, we further require all terrestrial operations in the 3650 MHz band to use technology that includes a contention-based protocol. Such systems allow multiple users to share the same spectrum by defining the events that must occur when two or more devices attempt to simultaneously access the same channel and establishing rules by which each device is provided a reasonable opportunity to operate. Under this approach, terrestrial operations can operate in geographic areas of their own choosing and, because a contention-based protocol will control access to spectrum, terrestrial operations will avoid interference that could result from co-frequency operations. Interference caused by radiofrequency (RF) energy from a fixed or base station transmitter into a nearby fixed or base station received will be addressed by the process we adopt to register fixed and base stations so that they can operate at locations and with technical parameters that will minimize the potential for interference between stations. By requiring use of contention-based technologies, we conclude that we do not have to limit terrestrial operations to outdoor-only or adopt other limiting measures to address possible contention among these new operations. As discussed more fully below, we also conclude that a contention-based protocol will allow the band to be used for a variety of base-station-enabled mobile terrestrial operations, thus providing additional flexibility in the use of the band as many commenters requested.
17.Licensing and registration of terrestrial fixed and base stations will also enable them to be easily identified and located to ensure the protection of incumbent FSS earth stations and Federal Government radiolocation stations. Under the approach we adopt here, new terrestrial operations will have to protect satellite earth station receive-modeoperations and Federal Government radiolocation stations in the 3650 MHz band in substantial areas of the country. To simplify this process, we are establishing protection zones around the grandfathered FSS earth stations, similar to the protection areas already designated around the grandfathered radiolocation stations. New terrestrial operations are to avoid operating within these zones, but we will allow new terrestrial operations to negotiate agreements with earth station operators for operations within these protection zones.[29] The technical requirements we place on fixed and mobile operations, along with our licensing/registration regime, should allow as much flexibility as technically possible at this point, and both prevent interference to the protected earth stations and facilitate the quick resolution of any interference issues that may arise.
18.In short, the actions we take in this Order for the 3650 MHz band should facilitate the rapid deployment of advanced telecommunications services and technologies to all Americans, thus promoting the objectives of Section 706 of the Telecommunications Act of 1996.[30] We also believe that the 3650 MHz band provides an ideal setting to build on the current successes of WISPs in providing broadband service to users not otherwise served, and to respond to calls by the Federal Advisory Committee on Diversity for Communications in the Digital Age to increase the opportunity for new entrants, including minorities, in emerging technology sectors of the communications industry.[31]
A.Allocation Issues
19.Background. In the NPRM, we proposed, in conjunction with our proposal to allow unlicensed operations in the 3650 MHz band, to delete the FS and MS (base station only) allocations. We also sought comment on whether we should retain the FS and MS allocations for licensed operations, and whether we should remove the “base station only” limitation for the MS allocation. Further, we sought comment on whether we should segment the band between licensed and unlicensed use and whether we should pair band segments. Regarding the FSS allocation, we sought comment on whether we should modify the FSS allocation to allow new facilities on a co-primary basis, regardless of whether we decided to allow unlicensed or licensed use of the band. Nonetheless, we also proposed to retain the application of footnote US245 to the Table of Frequency Allocations, which restricts FSS use of the band to international intercontinental operations. We further sought comment on whether we should recast footnote US 245 as a new footnote for the 3650 MHz band (e.g., as footnote NGxxx), without the requirement for case-by-case electromagnetic compatibility analysis.[32]
20.As we noted above, a significant number of WISPs favor use of the 3650 MHz band on an unlicensed basis. IEEE 802 believes that unlicensed use of the band would benefit by deleting the FS and MS allocations, limiting operations to fixed point-to-point, and retaining footnote US 245. The Coalition of C-Band Constituents asserts that only operations from fixed or stationary locations should be allowed to facilitate sharing with FSS earth stations. On the other hand, Intel and Motorola favor use of this band by wide area mobile or portable devices such as low cost, client devices (e.g., mobile computers). API favors a site-by-site licensing approach for fixed and mobile services would have the advantage of “allow[ing] access to the spectrum and entry into the market at a relatively low upfront cost.” Finally, SIA supports allowing new FSS earth stations in the band on a co-primary basis and deleting footnote US245.